Description
iCapital is looking for a Senior Vice President to join the Broker Dealer and Distribution Compliance team within the Regulatory and Compliance group.
This role supports the Chief Compliance Officer in overseeing, managing, and executing the broker-dealer's comprehensive compliance program, focusing on FINRA rules, SEC regulations, and other applicable laws related to alternative investments, structured investments, and annuity products.
Key responsibilities include:
- Designing, implementing, and maintaining an effective broker-dealer compliance program
- Providing senior-level oversight of key compliance functions, including supervision, surveillance, investigations, and regulatory reporting
- Serving as a key escalation point for material compliance issues and regulatory risk matters
- Overseeing compliance related to the distribution of alternative investments, structured products, and annuities
- Supporting product due diligence, approval, and ongoing monitoring frameworks
- Managing the development and enforcement of Written Supervisory Procedures (WSPs)
- Partnering with business leadership to enhance supervisory controls
- Coordinating responses to regulatory examinations and inquiries
- Monitoring regulatory developments impacting broker-dealer operations
- Collaborating on new marketing initiatives and providing compliance guidance
- Mentoring and developing compliance staff
- Promoting a strong culture of compliance and ethical conduct
The ideal candidate has 12-15+ years of relevant experience, significant experience in a FINRA-registered broker-dealer environment, and demonstrated expertise in alternative investments, structured investments, or annuities from a compliance perspective.
Benefits include a base salary range of $190,000 to $225,000, equity for full-time employees, an annual performance bonus, a comprehensive benefits package with employer-matched retirement plan, subsidized healthcare, parental leave, and unlimited paid time off (PTO).